Thomas J. Kelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas John Kelly, who also goes by Thomas Kelly, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2018. Thomas had worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2018 - June 25, 2021
EXECUTION ACCESS, LLC
March 29, 2018 - April 2, 2025
NASDAQ EXECUTION SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
EXECUTION ACCESS, LLC
CRD#: 148423 / SEC#: , 8-68021
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
